Job Details

Compliance Consultant

Company name

Organization Type

Law Firm

Job Type

Legal Staff

Years of Experience

1-2 yrs required

Location

Beverly Hills, CA

Date Last Verified

Mar 27,2018

Posted on

Mar 24,2018
Practice Area
Corporate >> Corporate - Securities and Capital Markets
  Employer Sponsored Job (Free to apply to)
 
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Profile

Compliance Consultant The candidate will be responsible for On-the-job training. Assist in heavy client contact, legal research and document drafting. Leading RIAs and their representatives through the SEC and/or state registration process. Completing required regulatory annual filings. Creating and/or revising RIA disclosure documents, advisory agreements, and compliance documents. Reviewing marketing materials and/or drafting employment agreements. Formation of legal entities. Should have Bachelor’s Degree. Business Major, Finance Major, Accounting Majors, Marketing Majors a plus, and/or Paralegal Certificate from an ABA Certified program with 1 – 2 years’ experience in the securities industry preferred. Should have knowledge of Series 6, or Series 7, and/or Series 24, Series 66 or Series 65 optional (we can hold securities licenses). Working knowledge of Investment Adviser's Act, 1940 Act (Investment Company Act), other securities regulations and FINRA / SEC Rules preferred. Expertise in the Microsoft Office Suite * Strong attention to detail, responsiveness and ability to take initiative. Ability to prioritize and handle numerous competing demands in a high-volume, fast-paced work environment with frequent urgent deadlines. Ability to work independently or as a team member, and manage projects and time efficiently. Should possess a professional manner and judgment to enable a good working relationship with clients and co-workers. Excellent communication, organizational and interpersonal skills.

Company info

Hiring Coordinator
Law Offices of Patrick J. Burns, Jr., PC
415 North Camden Drive
Suite 223
Beverly Hills, CA 90210

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